Robert C. Mangold
Professional summary
Robert Charles Mangold was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Robert had worked at 8 firms, which includes LPL FINANCIAL LLC, CETERA WEALTH SERVICES LLC, BCG SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, SECURIAN FINANCIAL SERVICES INC., POLARIS FINANCIAL SERVICES INC., TRUSTMONT FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2012 - June 12, 2013
LPL FINANCIAL LLC
September 18, 2012 - June 12, 2013
LPL FINANCIAL LLC
October 5, 2010 - September 18, 2012
CETERA WEALTH SERVICES, LLC
September 20, 2010 - September 18, 2012
CETERA WEALTH SERVICES, LLC
May 19, 2004 - September 9, 2010
BCG SECURITIES, INC.
January 10, 2001 - September 9, 2010
BCG SECURITIES, INC.
July 15, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 15, 1999 - January 5, 2001
EQUITABLE ADVISORS, LLC
September 1, 1995 - June 23, 1999
SECURIAN FINANCIAL SERVICES, INC.
March 19, 1993 - December 15, 1994
POLARIS FINANCIAL SERVICES, INC.
June 5, 1990 - February 13, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 5, 1990 - February 13, 1992
EQUITABLE ADVISORS, LLC
February 8, 1990 - June 22, 1990
TRUSTMONT FINANCIAL GROUP, INC.
May 29, 1987 - February 13, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 29, 1987 - February 13, 1992
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
